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As mentioned in Regulatory Roundup 74, firms that had the activity of ‘advising on investments’

The Home Office and HM Treasury have published a joint “Action Plan for anti-money laundering

In January 2014 the FCA published Finalised Guidance FG14/01 “Supervising retail investment advice: inducements and

A double IPO offering from the FCA with the publication of both a Discussion Paper

The FCA has carried out a thematic review on UK fund management firms and has

ESMA has been turning its attention to UCITS share classes and has issued a Discussion

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